Pcaob Jan 2018 - Nov 2019
Board Member
Promontory Financial Group, An Ibm Company Feb 2017 - Jan 2018
Global Leader of Securities and Fintech Services and Senior Strategic Advisor on Cyber Solutions
Feb 2017 - Jan 2018
Duke University School of Law
U.s. Department of the Treasury Sep 2014 - Jan 2017
Counselor To the Deputy Secretary
Duke University School of Law Jun 1, 2007 - Nov 14, 2016
Board of Visitors Member
Education:
Georgetown University Law Center 1991 - 1994
Masters, Master of Laws
Duke University School of Law 1985 - 1988
Doctor of Jurisprudence, Doctorates
University at Buffalo School of Management, the State University of New York 1981 - 1985
Bachelors, Bachelor of Science, Business Administration, Accounting
Skills:
Securities Regulation Corporate Governance Securities Risk Management Corporate Law Due Diligence Financial Services Fraud Financial Regulation Litigation Capital Markets Legal Writing Finance Investments Internal Investigations Policy Regulations Legal Research Licensing Finra Enforcement Hedge Funds Administrative Law Mergers and Acquisitions Privacy Law Private Equity Derivatives Strategy Executive Management Surveillance Securities Law Governance Risk Assessment Legal Advice Mutual Funds Compliance Trading
Interests:
Boating Cooking Electronics Outdoors Home Improvement Reading Sports Home Decoration
Deborah Honke, Sheila Murphy, Donna Lesak, Marianne Bender, Patricia Butterfield, Mary Holmstedt, Denise Bucknell, Sue Schiltz, Rosemarie Zaccone, Vera Henderson
"Based on the allegations in the order instituting the administrative proceedings, it appears the SEC has a powerful, circumstantial case against Gupta," said Kathleen Hamm, managing director at Promontory Financial Group in Washington and a former SEC enforcement official.